11/01/2013 North American Securities Administrators Association

North American Securities Administrators Association

WHAT WE DO:

The North American Securities Administrators Association (NASAA), headquartered in Washington, D.C., is the oldest international organization devoted to investor protection. Founded in 1919, its membership consists of securities administrators in the 50 states, the District of Columbia, Puerto Rico, the U.S. Virgin Islands, Canada and Mexico.

For more than 100 years, state and provincial securities regulators have been protecting main street investors from fraud. These regulators serve the investing public by licensing securities firms and investment professionals such as broker-dealers and investment advisers; registering certain securities offerings; reviewing financial offerings of small companies; auditing branch office sales practices and record-keeping; promoting investor education; and enforcing state securities laws. Many state regulators also help small businesses raise money and comply with securities laws.

WHAT WE OFFER:

Investor EducationNASAA offers investors of all ages and backgrounds an extensive online library of educational materials on how to invest safely and wisely. NASAA strongly encourages investors to research before investing their hard-earned money: Check Before You Invest. On the NASAA website, www.nasaa.org, investors can learn how to report a scam or file a complaint in our Fraud Center. They also can learn how to investigate a broker or investment adviser.

NASAA annually publishes the Top Investor Threats, a list of financial products, practices and services that threaten to trap unsuspecting investors. It also produces an ongoing series of alerts and advisories to warn the investing public about potentially dangerous trends in the marketplace.The Senior Investor Resource Center offers resources specifically for elders to protect their nest egg and avoid fraud. NASAA also has resources specific to youth and educators, adults and families, women, and military members.

Besides its resources on safe and wise investing, NASAA offers a wealth of information on current securities legislation and policy activity in the 50 U.S. states, Canada, Mexico and the Virgin Islands.

Grassroots NetworkOur network of securities regulators can assist investors with any state-level securities issue ranging from fraud investigations to business compliance to detailed securities education. Nearly all state and provincial securities regulators have their own investor education departments, offering a unique network of dedicated professionals delivering financial education on the grassroots level.

WHAT WE NEED:

NASAA has a strong mission for investor protection and is eager to share its message and existing resources with the investing public. NASAA is interested in establishing relationships and joint ventures with other anti-fraud organizations.Also, follow us on Facebook at NASAA and Twitter @NASAA_News.

WHAT’S NEW:

NASAA published an updated version of its “Cutting Through the Confusion” brochure, which is designed to guide investors through the process of choosing an investment services provider. This was a collaborative project with the Investment Adviser Association, CFA Institute and the Financial Planning Coalition, which is comprised of Certified Financial Planner Board of Standards, the Financial Planning Association and the National Association of Personal Financial Advisors.Thus far in 2013, NASAA has released four investor alerts, including a joint bulletin with the Securities and Exchange Commission called, “Making Sense of Financial Professional Titles.” Other alerts include energy investment, private placement offerings, and financial service providers.NASAA also updated and created print versions of its series of Conversation Starters, a series of open-ended questions designed to help families kick-start an ongoing dialogue about budgeting, saving, investing and avoiding scams and frauds.